DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Election/Restrictions
Applicant's election with traverse of Species 1, FIG. 4, Claims 1-7, 9, 19-29, and 35 in the reply filed on 05/20/26 is acknowledged. The traversal is on the ground(s) that “Applicant hereby traverses the restriction requirement, at least on the grounds that examination of all of the identified inventions and all of the pending claims would not result in a serious search and/or examination burden” (second the last paragraph on page 1 of 05/20/26 Remarks). This is not found persuasive because the species contain mutually exclusive characteristics which result in search/examination burden.
The requirement is still deemed proper and is therefore made FINAL.
Claims 8, 10-18, and 30-34 are withdrawn from further consideration pursuant to 37 CFR 1.142(b), as being drawn to a nonelected species, there being no allowable generic or linking claim. Applicant timely traversed the restriction (election) requirement in the reply filed on 05/20/26.
Claim Rejections - 35 USC § 102
The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
Claims 1-7, 9, 20, 23, 24, and 35 are rejected under 35 U.S.C. 102a1 as being anticipated by JPH02148776A (hereafter JP’776, 05/12/23 IDS).
Regarding claim 1, JP’776 discloses a light emitting device (FIG. 4, see abstract) comprising:
a first substrate (1, FIG. 4);
a light emitting element (see annotated FIG. 4 below) provided on a lower surface of the first substrate (see annotated FIG. 4 below);
a lens (19, FIG. 4) provided on an upper surface of the first substrate (see annotated FIG. 4 below);
a first protrusion (see annotated FIG. 4 below) provided on the upper surface of the first substrate; and
a first film (15, FIG. 4) provided on the upper surface of the first substrate, the first film including a first portion (see annotated FIG. 4 below) disposed on the lens or forming the lens, and a second portion (see annotated FIG. 4 below) disposed on the first protrusion or forming the first protrusion,
wherein a height of an uppermost portion of the first portion is equal to or less than a height of an uppermost portion of the second portion (H1<H2, see annotated FIG. 4 below).
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Regarding claim 2, JP’776 discloses the lens is a convex lens, a concave lens, a Fresnel lens, a binary lens, or a flat lens (19 is a convex lens, FIG. 4).
Regarding claim 3, JP’776 discloses one or more of the light emitting elements are provided on the lower surface of the first substrate (see annotated FIG. 4 above), one or more of the lenses are provided on the upper surface of the first substrate (see annotated FIG. 4 above), and the light emitting element and the lens correspond to each other at 1:1, N:1, or 1:N (N is an integer of 2 or more) (1:1, see annotated FIG. 4 below).
Regarding claim 4, JP’776 discloses the first protrusion has a shape annularly surrounding the lens (see annotated FIG. 4 below).
Regarding claim 5, JP’776 discloses a plurality of first protrusions provided on a plurality of corners or sides of the upper surface of the first substrate as the first protrusion (see annotated FIG. 4 below).
Regarding claim 6, JP’776 discloses the first protrusion has a linear shape extending along one side of the upper surface of the first substrate (see annotated FIG. 4 below).
Regarding claim 7, JP’776 discloses the first protrusion has an L-shape extending along two sides of the upper surface of the first substrate (see annotated FIG. 4 below).
Regarding claim 9, JP’776 discloses the first film includes an antireflection film provided on the lens (15 is a nonreflecting film, see abstract).
Regarding claim 20, JP’776 discloses light emitted from the light emitting element passes through the first substrate from the lower surface to the upper surface of the first substrate, and enters the lens (see annotated FIG. 4 below).
Regarding claim 23, JP’776 discloses a light emitting device (FIG. 4, see abstract) comprising:
a first substrate (1, FIG. 4);
a light emitting element (see annotated FIG. 4 above) provided on a lower surface of the first substrate (see annotated FIG. 4);
a lens (19, FIG. 4) provided on an upper surface of the first substrate (see annotated FIG. 4 above); and
a first protrusion (see annotated FIG. 4 above) provided on the upper surface of the first substrate,
wherein a height of an uppermost portion of the lens is equal to or less than a height of an uppermost portion of the first protrusion (H1<H2, see annotated FIG. 4 above).
Regarding claims 24 and 35, same rejections as applied to claims 1 and 23 are maintained since the method claims contain substantially the same limitations as the product claims 1 and 23.
(a)(2) the claimed invention was described in a patent issued under section 151, or in an application for patent published or deemed published under section 122(b), in which the patent or application, as the case may be, names another inventor and was effectively filed before the effective filing date of the claimed invention.
Claims 1, 19, 21-24, and 35 are rejected under 35 U.S.C. 102a2 as being anticipated by Lyon et al. (US PG Pub 2020/0251882 A1, 05/12/23 IDS).
Regarding claim 1, Lyon discloses a light emitting device (FIG. 6) comprising:
a first substrate (22, FIG. 6, [0035]);
a light emitting element (24, FIG. 6, [0035]) provided on a lower surface of the first substrate (FIG. 6);
a lens (one of microlens 76, see annotated FIG. 6 below, [0047]) provided on an upper surface of the first substrate (FIG. 6);
a first protrusion (another one of microlens 76, see annotated FIG. 6 below) provided on the upper surface of the first substrate; and
a first film (94, FIG. 6, [0050]) provided on the upper surface of the first substrate, the first film including a first portion (see annotated FIG. 6 below) disposed on the lens or forming the lens, and a second portion (see annotated FIG. 6 below) disposed on the first protrusion or forming the first protrusion,
wherein a height of an uppermost portion of the first portion is equal to or less than a height of an uppermost portion of the second portion (an uppermost portion of the first and second portions have the same height H, see annotated FIG. 6 below).
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Regarding claim 19, Lyon discloses the first substrate is a semiconductor substrate containing gallium (Ga) and arsenic (As) ([0035]).
Regarding claim 21, Lyon discloses a second substrate (32, FIG. 1A, [0040]) on which the first substrate is mounted with the light emitting element interposed therebetween (24 interposed between 22/32, FIG. 1A).
Regarding claim 22, Lyon discloses the second substrate is a semiconductor substrate containing silicon (Si) ([0040]).
Regarding claim 23, Lyon discloses a light emitting device (FIG. 6) comprising:
a first substrate (22, FIG. 6, [0035]);
a light emitting element (24, FIG. 6, [0035]) provided on a lower surface of the first substrate (FIG. 6);
a lens (one of microlens 76, see annotated FIG. 6 above, [0047]) provided on an upper surface of the first substrate (FIG. 6); and
a first protrusion (another one of microlens 76, see annotated FIG. 6 above) provided on the upper surface of the first substrate,
wherein a height of an uppermost portion of the lens is equal to or less than a height of an uppermost portion of the first protrusion (an uppermost portion of the first and second portions have the same height H, see annotated FIG. 6 above).
Regarding claims 24 and 35, same rejections as applied to claims 1 and 23 are maintained since the method claims contain substantially the same limitations as the product claims 1 and 23.
Claim Rejections - 35 USC § 103
The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
Claims 25-27 are rejected under 35 U.S.C. 103 as being unpatentable over Lyon et al. in view of WO2019186693A1 (hereafter WO’693, 05/12/23 IDS).
Regarding claim 25, Lyon has disclosed the method outlined in the rejection to claim 24 above except dicing the first substrate into a plurality of chips after formation of the lens, the first protrusion, and the first film. WO’693 discloses dicing a substrate (via a dicing apparatus having a blade 24, FIG. 1) into a plurality of individual chips (FIG. 15) along a mark pattern (80, FIGS. 14A-14B) after formation of the entire optical component. It would have been obvious to one having ordinary skill in the art before the effective filing date of the claimed invention to have modified the method of Lyon with dicing the first substrate into a plurality of chips after formation of the lens, the first protrusion, and the first film as taught by WO’693 in order to obtain individual laser chips.
Regarding claim 26, Lyon, as modified, discloses a part of the first protrusion is formed in a dicing region of the first substrate (“These first marks 82 are arranged on the cutting area of the glass substrate 10A,” see underlined portion on page 12 of WO’693).
Regarding claim 27, Lyon, as modified, discloses at least a part of the first protrusion is formed in a region other than a dicing region of the first substrate (FIG. 15 of WO’693).
Allowable Subject Matter
Claims 28 and 29 are objected to as being dependent upon a rejected base claim, but would be allowable if rewritten in independent form including all of the limitations of the base claim and any intervening claims.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
NUMATA et al. (US PG Pub 2021/0013703 A1), Gronenborn (US PG Pub 2020/0333445 A1), and OHTA et al. (US PG Pub 2020/0303896 A1) disclose a bottom-emitting VCSEL comprising a microlens formed on a top surface of a substrate (see FIG. 1 of NUMATA, and FIGS. 2 of Gronenborn and OHTA).
Any inquiry concerning this communication or earlier communications from the examiner should be directed to YUANDA ZHANG whose telephone number is (571)270-1439. The examiner can normally be reached M-F 10:30 AM - 6:30 PM.
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If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, MINSUN HARVEY can be reached at (571)272-1835. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/YUANDA ZHANG/Primary Examiner, Art Unit 2828
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